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Simplex Trading

Simplex Trading Portfolio holdings

AUM $149B
1-Year Est. Return 62.07%
 

Simplex Trading, founded in 2004 and headquartered in Chicago, Illinois, is a technology-driven proprietary trading firm specializing in market-making and liquidity provision, primarily in U.S. equity options and futures options. Leveraging advanced proprietary software and data-driven analysis, the firm optimizes trading strategies and develops innovative solutions to capitalize on financial market opportunities, maintaining a competitive edge through automation and a collaborative team of technologists and traders. With a workforce exceeding 300 and led by CEO Erik Swanson since 2014, Simplex operates with a low-ego, high-intelligence culture, focusing on minimal bureaucracy and rapid execution, while also making strategic venture capital investments in fintech startups. Recognized as a top workplace in Chicago by Built In’s 2025 awards, Simplex continues to evolve, blending cutting-edge technology with a commitment to market efficiency and growth.

This Fund
S&P 500
This Quarter Est. Return
-2.07%
1 Year Est. Return
+62.07%
3 Year Est. Return
+116.86%
5 Year Est. Return
+116.02%
10 Year Est. Return
+774.44%
AUM
$35.2B
AUM Growth
-$1.49B
Cap. Flow
-$310M
Cap. Flow %
-0.88%
Top 10 Hldgs %
32.67%
Holding
8,410
New
1,312
Increased
3,129
Reduced
2,596
Closed
1,163

Top Buys

Rank Stock Value
1
BABA icon
Alibaba
BABA
+$50.3M
2
BA icon
Boeing
BA
+$24.3M
3
GLD icon
SPDR Gold Trust
GLD
+$18.3M
4
BIIB icon
Biogen
BIIB
+$15.9M
5
FDX icon
FedEx
FDX
+$15.1M

Top Sells

Rank Stock Value
1
GOOG icon
Alphabet (Google) Class C
GOOG
+$60.3M
2
IWM icon
iShares Russell 2000 ETF
IWM
+$36.4M
3
NFLX icon
Netflix
NFLX
+$19M
4
XLI icon
State Street Industrial Select Sector SPDR ETF
XLI
+$17.3M
5
TLT icon
iShares 20+ Year Treasury Bond ETF
TLT
+$14.2M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 0.49%
2 Technology 0.48%
3 Healthcare 0.35%
4 Industrials 0.35%
5 Communication Services 0.21%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PTEN icon
7751
Patterson-UTI
PTEN
$4.01B
– –
-8,588
Closed -$84.2K
BCIC
7752
CALL
BCP Investment Corp
BCIC
$86.4M
– –
-8
Closed -$18K
PUMP icon
7753
CALL
ProPetro Holding
PUMP
$1.52B
– –
-35
Closed -$72K
QTWO icon
7754
Q2 Holdings
QTWO
$3.36B
– –
-826
Closed -$68.3K
QUIK icon
7755
CALL
QuickLogic
QUIK
$235M
– –
-6
Closed -$4K
RAIL icon
7756
PUT
FreightCar America
RAIL
$266M
– –
-7
Closed -$4K
RBA icon
7757
RB Global
RBA
$20.4B
$0 ﹤0.01%
+1
New +$37
RBBN icon
7758
Ribbon Communications
RBBN
$352M
– –
-17,169
Closed -$90.2K
RBC icon
7759
RBC Bearings
RBC
$18.8B
– –
-3,851
Closed -$622K
RBC icon
7760
PUT
RBC Bearings
RBC
$18.8B
– –
-6
Closed -$100K
RCKT icon
7761
Rocket Pharmaceuticals
RCKT
$358M
– –
-507
Closed -$6.29K
RCI icon
7762
Rogers Communications
RCI
$17.8B
– –
-331
Closed -$17K
RCUS icon
7763
Arcus Biosciences
RCUS
$3.77B
$0 ﹤0.01%
+57
New +$458
RDY icon
7764
CALL
Dr. Reddy's Laboratories
RDY
$9.8B
– –
-5
Closed -$3K
REFR icon
7765
PUT
Research Frontiers
REFR
$17.1M
– –
-40
Closed -$13K
REG icon
7766
PUT
Regency Centers
REG
$15B
– –
-87
Closed -$580K
REI icon
7767
CALL
Ring Energy
REI
$333M
– –
-67
Closed -$21K
REZI icon
7768
CALL
Resideo Technologies
REZI
$5.18B
– –
-40
Closed -$87K
REZI icon
7769
Resideo Technologies
REZI
$5.18B
– –
-14
Closed -$235
REZI icon
7770
PUT
Resideo Technologies
REZI
$5.18B
– –
-24
Closed -$52K
RF icon
7771
Regions Financial
RF
$26B
– –
-15,749
Closed -$238K
RGLS
7772
CALL
DELISTED
Regulus Therapeutics
RGLS
– –
-6
Closed -$7K
RGS icon
7773
Regis Corp
RGS
$70.6M
– –
-446
Closed -$160K
RHI icon
7774
Robert Half
RHI
$3.96B
– –
-14,866
Closed -$838K
RHP icon
7775
Ryman Hospitality Properties
RHP
$8.17B
– –
-487
Closed -$38.5K
309 310
311
312 313

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Simplex Trading's Q3 2019 Portfolio in Review

As of Q3 2019, Simplex Trading held 8,410 positions worth $35.2B, down 4.1% from $36.6B the previous quarter. Its ten largest holdings account for 33% of the portfolio.

Simplex Trading's Q3 2019 filing shows 1,312 new, 3,129 increased, 2,596 reduced and 1,163 closed positions. Its largest new stake was SPDR Gold Trust: 131,281 shares worth $18.2M. The largest sale was Alphabet (Google) Class C, an estimated $60.3M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 0.49% of assets, up from 0.26% a quarter earlier, followed by Technology and Healthcare.

  • Simplex Trading's largest Q3 2019 buy was SPDR Gold Trust: 131,281 shares worth $18.2M.
  • Simplex Trading added most to Alibaba in Q3 2019, an estimated $50.3M increase.
  • Simplex Trading's biggest Q3 2019 reduction was Alphabet (Google) Class C, cutting an estimated $60.3M.
  • Simplex Trading fully exited iShares Russell 2000 ETF in Q3 2019, selling an estimated $36.4M.
  • Simplex Trading's ten largest holdings make up 33% of its $35.2B portfolio in Q3 2019.
  • Simplex Trading opened 1,312 new positions and closed 1,163 in Q3 2019.
  • Simplex Trading's portfolio value fell 4.1% quarter-over-quarter to $35.2B.

Based on Simplex Trading's 13F filing for Q3 2019, filed 15 Oct 2019.